The Securities and Exchange Commission’s regulatory agenda during the current leadership has changed little since it was first revealed in 2021. One item that has been near the top of the list is Reg ...
What constitutes a trading venue? Which kinds of firms should be regulated as trading venues? The answers to those questions are the subject of much heated debate in Europe, and the review of the ...
While the Securities and Exchange Commission (SEC) may be trying to make it more difficult to be deemed an Accredited Investor, thus disenfranchising more individual investors, recently legislation ...
On April 23, 2024, the U.S. Department of Labor (“DOL” or “Department”) issued a final regulatory package amending its fiduciary investment advice regulation and revising numerous existing prohibited ...
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